The Ncast
A podcast focused on the people and stories from the front lines of managing risk, compliance, and the insane number of regulations in financial institutions today.
Episodes
Ncontracts Chief Information Security Officer Clay Carter joins Rafael DeLeon to unpack why the security failures hurting financial organizations most often start with a trusted vendor, not a direct attack. Carter, who built security programs at General Electric, Nielsen, and Xylem before joining Ncontracts, breaks down where vendor questionnaires fall short, what responsible AI governance requires, and why advanced security techni...
Most vendor management programs at financial institutions are built to satisfy an examiner. Michael Carpenter, VP of Risk Management at Ncontracts and author of The Upside of Third-Party Risk Management, spent 30 years building third-party risk management programs at community banks, credit unions, and large financial institutions — and in this episode of Ncast, he explains what that experience revealed about why so many TPRM...
Regulators aren't waiting for new rules before they start examining for compliance failures — they're applying existing frameworks to AI and vendor oversight right now, and wealth management firms that aren't prepared are already behind. Hollie Mason, Managing Director at Stout and former FINRA senior enforcement counsel, joins Rafael DeLeon to break down what the SEC and FINRA are prioritizing in 2026 exams, where the vendor...
The SEC's amended Regulation S-P raises the bar on how investment advisors protect customer data — and the compliance timeline isn't moving. In this episode of the Ncast, Rafael DeLeon sits down with Tracy Soehle, Associate General Counsel at the Investment Advisors Association, to work through what the rule demands in practice: building an incident response program, meeting the 30-day notification requirement, and managing s...
Compliance officers are under constant pressure to answer regulatory questions accurately — and fast. In this episode of Ncast, Rafael DeLeon sits down with Stephanie Lyon and Jay Jamison to unpack what it means to use AI in compliance responsibly, from how Nquiry was built to eliminate the research burden to what examiners actually want to see in your documentation when AI informed a decision.Guests: Stephanie Lyon — S...
AI is moving faster than most compliance programs can handle — and financial institutions are feeling it. In this episode of the Ncast, host Rafael DeLeon sits down with Ncontracts Chief Product Officer Jay Jamison to talk about what it actually means to govern AI responsibly in financial services.Jay brings nearly 30 years of software experience — including a decade at Microsoft — to a conversation that covers wh...
Former compliance and BSA officer Ashley Przada joins Rafael DeLeon to share hard-won lessons from 14 years in banking — covering everything from BSA risk and examiner relationships to compliance burnout and building programs from the ground up.
Compliance is often viewed as a gatekeeper instead of a collaborator. How can a compliance officer change that perception and actually become valued as a strategic business partner? In this episode of the Ncast podcast, Rafael DeLeon interviews Michelle Prohaska, Chief Risk & Compliance Officer at Nymbus, as she shares how she laid the groundwork to ensure compliance is welcomed into strategic conversations and partnerships.
In this episode of the Industry Insights podcast, Rafael is joined by CEO and Founder of Ncontracts Michael Berman to talk about the evolution of contract management at financial institutions. It’s a timely topic as Michael’s company celebrates its 15th anniversary and he unveils Ncontracts' newest innovation - the Ntelligent Contracts Assistant.
Contracts are single most effective control a financial instit...
In a recent podcast episode, Rafael engaged in a captivating conversation with Dave Coffaro, an authority in strategy, change leadership, and organizational growth. Dave stressed the importance of agility in leadership and the need for organizations to adapt swiftly in today's dynamic business landscape. His insights are a valuable resource for navigating change successfully.
I had an amazing conversation with Dave Coffaro for our ...
Every month, Ncontracts compliance experts provide an overview and analysis of the latest regulatory updates to help you keep up with the rapidly evolving nature of the industry.
In this episode, Stephanie Lyon, VP of Compliance, is joined by experts Robert Brosh and Nicole Upshur to discuss regulatory changes that took place in the month of May 2022, and what these changes mean for your financial institution.
A company intranet can help activate and engage your corporate culture, as well be used as a tool for training, onboarding new employees, and increasing productivity.
In this episode of The Ncast, Rafael DeLeon speaks with Cathy Guthrie, Ncontracts’ Executive Vice President of Human Resources, about how the right technology can be used to help employees achieve their full potential.
Cathy was recently named one of...
Every month, Ncontracts compliance experts provide an overview and analysis of the latest regulatory updates to help you keep up with the rapidly evolving nature of the industry.
In this episode, Stephanie Lyon, VP of Compliance, is joined by experts Shelby Montgomery and Katie Ferrell to discuss regulatory changes that took place in the month of April 2022, and what these changes mean for your financial institution.
How do fintechs figure in the future of community banks?
In this episode, Rafael DeLeon talks with Christopher Williston, President and CEO of the Independent Bankers Association of Texas about Bankers helping Bankers, a platform that brings together financial institution professionals to share information and solutions to their everyday challenges.
Chris talks about getting the data needed to evaluate core providers, e...
Every month, Ncontracts compliance experts provide an overview and analysis of the latest regulatory updates to help you keep up with the rapidly evolving nature of the industry.
In this episode, Stephanie Lyon, VP of Compliance, is joined by compliance experts Robert Brosh and Cheryl Grizzard to discuss regulatory changes that occurred in the month of March 2022 and what they mean for your financial institution.
ESG (Environmental, Social, and Governance, is more than just a buzzword for banks.
It should be embedded in the culture of our financial institutions. But where do you start?
In this episode, Rafael DeLeon talks with Dorothy Savarese, chair and CEO of Cape Cod Five, about how financial institutions can exercise environmental stewardship in every aspect of their strategy -- from developing business offerings, adjusting ...
Every month, Ncontracts compliance experts provide an overview and analysis of the latest regulatory updates to help you keep up with the rapidly evolving nature of the industry.
In this episode, Stephanie Lyon, VP of Compliance, is joined by compliance experts Katie Ferrell and Nicole Upshur to discuss regulatory changes that occurred in the month of February 2022 and what they mean for your financial institution.
How are customer expectations changing?
How will that affect operating models in banking?
In this episode, Rafael DeLeon talks with Dave Coffaro, author, consultant, and founder of Atticus, a fintech firm that develops tools for fiduciary-based activities, about how banks can respond to the accelerated pace of change that impacts every aspect of business, from service offerings to leadership to talent acquisition and de...
Every month, Ncontracts compliance experts provide an overview and analysis of the latest regulatory updates to help you keep up with the rapidly evolving nature of the industry.
In this episode, Stephanie Lyon, VP of Compliance, is joined by compliance experts Robert Brosh and Shelby Montgomery to discuss regulatory changes that occurred in the month of January 2022 and what they mean for your financial institution.
What story does your HMDA data tell?
In this episode, Rafael DeLeon talks with Bobbie Kennedy, a former Technical Expert in CRA & Fair Lending for the OCC.
Their conversation takes a deep dive into HMDA systems and processes, including a focus on where your FI’s board of directors should direct their attention, and what controls, policies, and procedures need to be in place for HMDA data integrity.
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